Financial services solutions: Overview · AI · Security Systems · IT Services · Cybersecurity & Compliance · Communications

Governed AI for Non-Depository Financial Firms

Loan processors, title officers, tax preparers, insurance account managers, advisors and collectors are all asked to do more with the same staff, and AI promises to help. The risk is real too: someone pastes a borrower's pay stubs, a closing disclosure, a tax return or a claim file into a free chat tool, and that data has left your control. BTI is your Guided Automation Partner. We close the gap between the AI your team sees and the AI virtual workforce they don't, the automation that sorts documents, drafts routine correspondence, answers calls and watches your systems around the clock, inside controls that line up with your security program.

This page is part of BTI's connected technology solutions and advisory services for financial services firms. The same team that runs your IT, cybersecurity, phones and office security adds AI and governs it.

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Where AI Helps, by Firm Type

Mortgage lenders, brokers and servicers

Classify and index loan file documents, flag missing conditions, and draft borrower follow-ups for processors to review. Underwriters and loan officers make every credit decision.

Title and escrow companies

Summarize title commitments, track closing checklists and draft routine status updates. AI never sends or changes wire instructions; those stay in verified, human-controlled workflows.

CPA and tax firms

Organize W-2s, 1099s, K-1s and organizers during busy season, flag missing items and draft client requests while preparers sign off.

Insurance agencies and brokers

Summarize claim files and loss reports, compare policy language and draft renewal correspondence. Licensed staff make every coverage and claim decision.

Wealth managers, RIAs and broker-dealers

Draft meeting summaries and client follow-ups for advisor review, inside a workspace that supports your recordkeeping and Reg S-P obligations.

Consumer lenders, collection agencies and fintech firms

Summarize account notes, draft compliant letter templates for review and route service requests, with people approving any customer-facing message.

AI-Assisted Monitoring

BTI's 24/7 NOC/SOC partner backed by a SOC 2 audited operations center uses automation to correlate alerts across email, identity and endpoints, catching the account takeovers and wire fraud attempts that target financial firms: 10,000+ alerts handled, zero missed. → Financial services cybersecurity

Keep Client Data Out of Public AI

Financial firms hold Social Security numbers, income, account numbers, credit files and claims history. BTI helps you:

Deploy firm-controlled AI workspaces with access controls, encryption and audit logging
Apply data loss prevention that stops client identifiers from leaving your environment
Review AI features embedded in your LOS, e-signature, tax, agency management and CRM software
Train staff with clear examples of what is and isn't safe to share

AI Inside Your GLBA Security Program

Under the Gramm-Leach-Bliley Act (GLBA), non-depository firms under the FTC Safeguards Rule must cover new tools in their risk assessment and vendor oversight. RIAs and broker-dealers have SEC Reg S-P service provider duties, insurers follow state laws based on NAIC #668, and tax professionals follow IRS Publication 4557. BTI adds AI to your written program so it gets the same controls, reviews and training as everything else.

Governance Clients and Regulators Can Trust

An AI use policy that names approved tools, prohibited data and required review
Framework alignment with the NIST AI Risk Management Framework
Human accountability: AI drafts and organizes; licensed and credentialed professionals decide
Client transparency: language for privacy notices and engagement letters

→ AI security, governance & risk

What's Included and What's an Add-On

Included: Guided Automation advisory services are part of every BTI managed IT plan at no extra cost.
Add-ons: AI tools such as secure chat workspaces, model access and usage, and secure cloud workspaces, quoted with itemized monthly pricing.
Managed AI and governance are available as a managed service.

How We Start

Workflow review: where staff time goes at month-end, closings and peak seasons
Use-case ranking by hours saved, risk and effort
Controls first: AI policy, data boundaries and security program updates
Pilot and scale: one team, measured, then expanded

→ AI Opportunity Assessment AI for business leaders AI services

Why BTI

One partner for AI, IT, cybersecurity, phones and office security40 years98% client retentionISO 27001 compliantSOC 2 audited NOC/SOC partner94% of clients pass audits on the first attemptadvisor reply within one business day

Who We Work With

BTI supports many CPA, accounting and insurance firms and other financial services businesses.

Financial services: Overview Security Systems IT Services Cybersecurity & Compliance Communications

Frequently Asked Questions

How can financial firms use AI safely?

Use firm-controlled AI workspaces instead of free consumer tools, block client identifiers with data loss prevention, adopt an AI use policy and keep a licensed or credentialed professional responsible for every output.

How can mortgage lenders use AI?

Governed AI can classify loan file documents, flag missing conditions and draft borrower follow-ups for processors to review. People make every credit decision.

Can title companies use AI without increasing wire fraud risk?

Yes, if AI never sends or changes wire instructions. BTI keeps wire workflows human-controlled with call-back verification while AI handles checklists and status updates.

Does AI need to be in our GLBA security program?

Yes. Under GLBA, the FTC Safeguards Rule, SEC Reg S-P and state insurance data security laws, tools that touch client data belong in your risk assessment, vendor oversight and training.

Is AI advisory an extra cost?

Guided Automation advisory services are included in every BTI managed IT plan. AI tools such as secure workspaces and model access are optional add-ons.

Will AI make decisions about clients, loans or claims?

No. AI drafts, organizes and summarizes. Licensed and credentialed professionals make every credit, coverage, tax and claim decision.

Talk to a BTI Advisor

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